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MEMORANDUM OF UNDERSTANDING 
BETWEEN 

THE DEPARTMENT OF STATE 
BUREAU OF DIPLOMATIC SECURITY 

j AND ' 

THE DEPARTMENT OF JUSTICE FEDERAL BUREAU OF INVESTIGATION 
CRIMINAL JUSTICE INFORMATION SERVICES DIVISION 

AND 

THE DEPARTMENT OF DEFENSE 
DEFENSE FORENSICS AND BIOMETRICS AGENCY 

FOR 

SHARING OF BIOMETRIC AND OTHER IDENTITY MANAGEMENT DATA 
L PARTIES 

The parties to this Memorandum of Understanding (MOO) are the Department of 
State (DOS) Bureau of Diplomatic Security (DS), the Department of Justice (DOJ) 
Federal Bureau of Investigation (FBI) Criminal Justice information Services (CHS) 
Division, and die Department of Defense (DOD) Defense Forensics and Biometrics 
Agency {OFBA}, hereinafter referred to as “party” or “the parties.” 

II. PURPOSE 

The purpose of this MOU is to share biometric and contextual data among the parties 
by leveraging existing data sharing practices through developing a direct conduit for 
the parties to access databases storing biometric information, ft is in the Nation’s 
interest for DS, CJIS and DFBA to share this information to ensure the prompt and 
accurate updating of biometric records worldwide, guaranteeing the overall accuracy 
and thoroughness of regular name checks and background investigations for 
suitability and security determinations. Facilitating and improving the capabilities of 
each patty to share biometric information with each other will directly affect the 
safety and security of US. Government officials and facilities domestically and 
internationally. Under an existing information sharing MOU between DOD and FBI, 
the DOD Automated Biometric Identification System (ABIS) shares biometric 
information with CJIS through the. Integrated Automated Fingerprint Identification 
System (lAPIS). Likewise, DS and CJIS share biometric data directly under an 
interagency agreement for non-criminal justice applicant fingerprint checks. 

IILAUTHORITY 

DFBA enters into this MOU under the authority of National Security Presidential 
Directive-59 (NSPD-59)/! lomeland Security Presidential Directive-24 (HSPD-24) for 
the use, analysis, and sharing of biometric and associated biographic and contextual 
information of individuals necessary to protect national security; Public Low 106- 
246, section I I2j and DOD Directive 8521.01B, Department of Defense Biometrics. 

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CJIS enters into this MOU under the authority of 5 U.S.C. § 9101, 28; U.S.C. § 533, 
534; 28 C.F.R. § 0.85; and the Attorney General’s April l L 2002, order to coordinate 
and share information related to terrorism. 

DS enters into this MOU under the authority of Executive Order 12968, Access to 
Classified Information; 5 C.F.R. § 731, Suitability and Actions; NSPD-59/iiS PD-24 
for the use, analysis, and sharing of biometric and associated biographic and 
contextual information of individuals necessary to protect national security; HSPD-V2 
for use of the government-wide standard identification system; HSPD-11 regarding 
immigration; HSPD-6 for diplomatic, law enforcement, immigration, visa and 
protective processes; 22 U.S.C. § 4806, Protection of Foreign Consulates; 22 U.S.C. § 
4807, Establishment of Visa and Passport Security Program in the Department of 
State; 18 U.S.C. § 911, False representation of citizens of the United States; 18 
U.S.C. § 1028, Fraud and related activity in connection with identification 
documents, authentication features, and information; 18 U.S.C. § 1546, Fraud and 
misuse of visas, permits, and other documents; and 18 U.S.C. § 7, Special maritime 
and territorial jurisdiction of the United States. 

IV. DEFINITIONS 

A. BIOMETRIC: A measure of an identifying physical aspect of an individual— 
e.g., a fingerprint, iris scan, or DNA—that can be turned into a digital template 
capable of being electronically stored and compared for verification or matching 
purposes. 

B. BIOMETRIC DATA: Computer data created during a biometric process. It 
encompasses raw sensor observations, biometric samples, models, templates 
and/or similarity scores. Biometric data is used to describe the information 
collected during an enrollment, verification, or identification process, but does not 
apply to end user information such as user name, demographic information and 
authorizations. 

C. BIOMETRICS: A general term used alternatively to describe a characteristic or a 
process. As a characteristic, it is the measure of a biological (anatomical and 
physiological) and/or behavioral biometric characteristic that can be used lor 
automated recognition. As a process, it is automated methods of recognizing an 
individual based on the measure of biological (anatomical and physiological) 
and/or behavioral biometric characteristics. 

D. CONTEXTUAL DATA: Elements of biographical and situational information 
associated with an enrollment and permanently recorded as an integral component 
of foe biometric file. 

E. DEROGATORY INFORMATION: For the purposes of this MOU and associated 
annexes, derogatory information is defined as any information related to known or 
suspected involvement in terrorism or terrorist activities; known criminal history; 
known or suspected participation in espionage or counter-intelligence activities; 
known or suspected falsification of records in seeking employment with any U.S. 


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government entity or access to any U.S. Government facility; known or suspected 
falsification of travel documents. 

F. ENROLLMENT: The process of collecting a biometric sample from a biometric 
subject, converting it into a biometric reference, and storing it in the biometric 
system's database for later comparison. 

G. INFORMATION INCIDENT: The loss of control, compromise, unauthorized 
disclosure, unauthorized acquisition, unauthorized access, or any similar term 
referring to situations where persons other than authorized users, or for any other 
than authorized purpose, have access or potential access to shared unclassified 
information in usable form, whether physical or electronic. 

H. PERSONALLY IDENTIFIABLE INFORMATION (PII): Information which 
can be used to distinguish or trace an individual's identity, such as their name, 
social security number, biometric records, etc., alone, or when combined with 
other personal or identifying information linked or linkable to a specific 
individual, such as date and place of birth, mother’s maiden name, etc, 

I. PERSONS OF INTEREST: Any non-U.S. person on whom DS holds derogatory’ 
information as defined above. 

j. U.S. PERSON: A living parson who is a citizen of the United States, an alien 
lawfully admitted for permanent residence in the United States, or a member of 
the U.S. Armed Forces. 

V. BACKGROUND 

DS is responsible for providing a safe and secure environment for the conduct of U.S. 
foreign policy worldwide, establishing a security infrastructure to protect personnel, 
information and computer security. The Assistant Director lor Domestic Operations 
(DS/DO) leads a global investigative office that conducts both criminal investigations 
involving tire issuance of U.S. passports and visas and complex visa fraud 
investigations Involving human smuggling, organized crime, or terrorism. The Office 
of Personnel Security and Suitability (DS/S l/PSS) reviews and analyzes background 
investigations of candidates for employment, and for employees and contractors 
seeking physical and logical access to DS to assure that panting an individual access 
to classified information is consistent with the interests of national security. 
DS/SI/PSS conducts approximately 35,000 personnel security background 
investigations for suitability determinations and clearances each year. These 
background investigation s include an Increasing number of requests and applications 
from foreign nationals for access to U.S. facilities abroad. The Deputy Assistant 
Secretary and Assistant Director for International Programs (DS/IP) and the Deputy 
Assistant Secretary for High T hreat Programs (DS/MT P) provide leadership, support, 
and oversight of overseas security and law enforcement programs and related policy 
for the benefit of U.S. Government interests and foe international community. 

The CJ1S Division serves as foe Nation's central repository for identification and 
criminal history record information. The CJIS Division maintains millions of digital 
representations of fingerprint images, features from digital fingerprint images, and 
associated criminal history record information in the Fingerprint Identification 


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Record System (FIRS). 'fhe FIRS incorporates an automatic fingerprint search 
capability via its IAFIS. 

DFBA leads and coordinates the development, adoption and institutionalization of 
biometric techniques for acquiring and retaining biometric and other descriptive data 
recorded by military units. DFBA’s Biometrics Identity Management Activity 
(BIMA) operates and maintains die DOD’s ABTS, which stores, matches, and shares 
biometrics and other identity management data (including biographical and 
contextual data). 

The parties acknowledge that the information involved in this MOU may identify 
U.S. persons whose information is protected by the Privacy Act of 
1974 and/or Executive Order 12333 (or any successor executive order). All such 
information will be handled lawfully pursuant to the provisions thereof. 

VI. RESPONSIBILITIES 

All parties will' 

1. Adhere to applicable technical standards, appropriate business processes, and 
privacy protection mechanisms required under the Privacy Act of 1974 related 
to die sharing of U.S. Government data and conform to OMB Memorandum 
M-07-16, Safeguarding Against and Responding to the Breach of Personally 
Identifiable Information (PH). Subsequent to the signing of this MOU , the 
parties will develop and agree to technical procedures identifying die specific 
processes by which privacy protections will be observed. No data will be 
shared pursuant to this MOU until such procedures are implemented. 

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3. 


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6. Report to the other parties immediately upon discovering that an information 

incident has occurred. _ 

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VII. FUNDING 

This MQU is not an obligation or commitment of funds, nor a basis for transfer of 
funds. Unless otherwise agreed to in writing, each party shall bear its own costs in 
relation to this MOU. Expenditures by each party will be subject to its budgetary 
processes and to the availability of funds and resources pursuant to applicable laws, 
regulations, and policies. The parties expressly acknowledge that this in no way 
implies that Congress will appropriate funds for such expenditures. 


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VIII. EFFECT OF THIS AGREEMENT 

This MOU is not intended, and should not be construed, to create any right or benefit, 
substantive or procedural, enforceable at law or otherwise against any of the parties, 
their parent agencies, the United States, or the officers, employees, agents, or other 
associated personnel thereof. The parties will seek to resolve any disputes regarding 
this MOU by mutual consultation. 

This MOO does not rescind or modify, in whole or in part, any existing agreements 
between or among the parties. In foe event of an inconsistency or conflict between 
this and other agreements, the party identifying the issue will discuss and resolve the 
conflict with all other parties before any action is taken. Additionally, should any 
conflict arise concerning the substance or interpretation of the terms of this 
agreement, the issues in question will be discussed and resolved by all parties before 
any action is taken. 

IX. DISPUTE RESOLUTION 

In foe event that disputes among I)S, CITS, and DPBA cannot be resolved at the 
program level, despite good faith efforts, the matter should he elevated to the 
approving officials listed in section XI for resolution. 

X. EFFECTIVE' DATE,DURATION, AMENDMENT, TERMINATION 

The terms of this agreement and any subsequent addenda shall be effective upon the 
signature of all parties and shall continue in effect unless notice is given by one party 
to the others that the notifying party wishes to renegotiate, terminate, or withdraw 
from the agreement. Such written notice shall be provided at least 60 days prior to foe 
proposed amendment, termination, or withdrawal. Modifications shall have a written 
agreement of consent by all parties. 


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The authorized agency officials whose signatures appear below have committed their 
respective agencies to the terms of this agreement, subject to annual review to 
determine whether amendments are needed. 

XI. APPROVAL 

The foregoing represents the understanding readied between DS, CJ1S, and DFBA. 


\ \ \ v *■' 

. 

. Starr A \ 


Gregory 1 * starry 
Principal Deputy Assistant Secretary 
Bureau of Diplomatic Security 
Department of State 



Date 



Criminal Justice Information Sendees Division 
Federal Bureau of Investigation 



Defense Forensics and BiometricsXgerk 
Department of Defense 



Date 


ixlaLk 

Datd 


Attached: 

A. Annex 1 - Subsequent Exchange of Data between the Department of State, 

Bureau of Diplomatic Security, Office of Personnel Security and Suitability: and 
the Department of Justice, Federal Bureau of Investiption, Criminal Justice 
Information Services Division; and the Department of Defense, Defense Forensics 
and Biometrics Agency 

B. Annex 2 - Subsequent Exchange of Data between the Department of State, 

Bureau of Diplomatic Security, Directorate of Domestic Operations; and the 

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Department of Justice, Federal Bureau of investigation, Criminal Justice 
Information Services Division; and the Department of Defense, Defense Forensics 
and Biometrics Agency 

C. Annex 3 - Subsequent Exchange of Data between the Department of State, 

Bureau of Diplomatic Security, Directorates of International Programs and High 
Threat Programs; and the Department of Justice, Federal Bureau of Investigation, 
Criminal Justice Information Services Division; and the Department of Defense, 
Defense Forensics and Biometrics Agency 


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ANNEX 1 

SUBSEQUENT EXCHANGE OF DATA 
BETWEEN 

THE DEPARTMENT OF STATE 
BUREAU OF DIPLOMATIC SECURITY 
OFFICE OF PERSONNEL SECURITY AND SUITABILITY 

AND 

THE DEPARTMENT OF JUSTICE FEDERAL BUREAU OF INVESTIGATION 
CRIMINAL JUSTICE INFORMATION SERVICES DIVISION 

AND 

THE DEPARTMENT OF DEFENSE 
DEFENSE FORENSICS AND BIOMETRICS AGENCY 

This Annex is governed by the general provisions of the Memorandum of Understanding 
(MOU) between the Department of State (DOS) Bureau of Diplomatic Security (DS), the 
Federal Bureau of Investigations (FBI) Criminal Justice Information Services Division 
(CJIS) and tire Department ofDefense (DOD) Defense Forensics and Biometrics Agency 
(DFBA) for sharing of biometric and other identity management data. 

L PURPOSE 

The purpose of this Annex is to allow the DS Security Infrastructure (St) Office of 
Personnel Security and Suitability (PSS) to conduct relevant data inquiries for DS 
personnel investigative purposes and to share relevant information on persons of interest 
with the DFBA. 

IL OBJECTIVE 

The objective of this Annex is to establish procedures by which DS/SI/PSS will submit 
information for retention within the DOD Automated Biometric Identification System 
(ABIS) after the initial searches have been completed pursuant to the DS-CJ1S-DFBA 
MOU. These procedures will ensure the prompt and accurate updating of records and 
contribute to the overall comprehensiveness of background investigations for suitability 
and security determinations. 

III. SCOPE 

This Annex does not cancel or supersede existing agreements between DS/SI/PSS and 
DFBA or any other party, 'fhis Annex is confined to data exchanged under the authorities 
listed at Section HI of tire source MOU among DS. CJIS and DFBA. 

IV, PROCEDURES_ 


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V. FUNDING 

This Annex is not an obligation or commitment of funds, nor a basis for transfer of funds. 
Unless otherwise agreed to in writing, each party shall bear its own costs in relation to 
this Annex and its source MOU. Expenditures bv each party will be subject to its 
budgetary processes and to the availability of funds and resources pursuant to applicable 
laws, regulations, and policies. The parties expressly acknowledge that this in no way 
implies that Congress will appropriate funds for such expenditures. 

VI. EFFECTIVE DATE, DURATION, AMENDMENT, TERMINATION 

This Annex shall be effective upon tire signature of all parties and shall continue in effect 
unless notice is given by one party to the other that the notifying party wishes to 
renegotiate, terminate, or withdraw from the agreement. Such written notice shall be 
provided at least 60 days prior to the proposed amendment, termination, or withdrawal. 
Modifications shall have a written agreement of consent by both parties. 

The authorized agency officials whose signatures appear in the MOU have committed 
their respective agencies to rise terms of this agreement, subject to annual review to 
determine whether amendments are needed. 

VII. APPROVAL 

The foregoing represents the understanding reached between DS/SUPSS, GJIS, and 
DFBA. Signatures of agreement on the MOU indicate approval of this annex. 


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ANNEX 2 

SUBSEQUENT EXCHANGE OF DATA 
BETWEEN 

THE DEPARTMENT OF STATE 
BUREAU OF DIPLOMATIC SECURITY 
DIRECTORATE OF DOMESTIC OPERATIONS 

AND 

THE DEPARTMENT OF JUSTICE FEDERAL BUREAU OF INVESTIGATION 
CRIMINAL JUSTICE INFORMATION SERVICES DIVISION 

AND 

THE DEPARTMENT OF DEFENSE 
DEFENSE FORENSICS AND BIOMETRICS AGENCY 


This Annex is governed by the general provisions of the Memorandum of Understanding 
(MOU) between the Department of State (DOS) Bureau of Diplomatic Security (DS), the 
Federal Bureau of Investigations (FBI) Criminal Justice Information Services Division 
(CJIS,) and the Department of Defense (DOD) Defense Forensics and Biometries Agency 
(DFBA) for sharing of biometric and other identity management data. 

L PURPOSE 

The purpose of this Annex is to allow DS Domestic Operations (IX)) to conduct relevant 
data inquiries for DS investigative purposes and to share relevant information on persons 
of interest with the DFBA. 

IT OBJECTIVE 

The objective of tills Annex is to establish procedures by which DS/DO will submit 
information for retention within ABIS after the initial searches have been completed 
pursuant to the DS-CJIS-DFBA MOU. These procedures will ensure the safeguard and 
bona tides of U.S. visas and travel documents during the investigative process and 
contribute to tire protection of U.S'. Government facilities overseas. 

III. SCOPE 

This Annex does not cancel or supersede existing agreements between DS/DO and 
DFBA or any other party. This Annex is confined to data exchanged under the authorities 
listed at Section III of the source MOU among DS, CJIS and DFBA. 


IV PROCEDURES 



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V. FUNDING 

This Annex is not an obligation or commitment of funds, nor a basis for transfer of funds. 
Unless otherwise agreed to in writing, each party shall bear its own costs in relation to 
this Annex and its source MOU. Expenditures by each party will be subject to its 
budgetary processes and to the avai lability of funds and resources pursuant to applicable 
laws, regulations, and policies. The parties expressly acknowledge that this in no way 
implies that Congress will appropriate funds for such expenditures. 

VL EFFECTIVE DATE, DURATION, AMENDMENT, TERMINATION 

This Annex shall be effective upon the signature of both parties and shall continue in 
effect unless notice is given by one party to the other that the notifying party wishes to 
renegotiate, terminate, or withdraw from the agreement. Such written notice shall be 
provided at least 60 days prior to the proposed amendment, termination, or withdrawal. 
Modifications shall have a written agreement of consent by both parties. 

The authorized agency officials whose signatures appear in the MOU have committed 
their respective agencies to the terms of fills agreement, subject to annual review to 
determine whether amendments are needed. 

VII. APPROVAL 

The foregoing represents the understanding reached between DS/DO and DFBA. 
Signatures of agreement on the MOU indicate approval of this annex. 


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ANNEX 3 

BETWEEN 

THE DEPARTMENT OF STATE 
BUREAU OF DIPLOMATIC SECURITY 
DIRECTORATES OF INTERNATIONAL PROGRAMS AND HIGH THREAT 

PROGRAMS 

AND 

THE DEPARTMENT OF JUSTICE FEDERAL BUREAU OF INVESTIGATION 
CRIMINAL JUSTICE INFORMATION SERVICES DIVISION 

AND 

THE DEPARTMENT Of DEFENSE 
DEFENSE FORENSICS AND BIOMETRICS AGENCY 

This Annex is governed by the general provisions of the Memorandum of Understanding 
(MOU) between the Department of State (DOS) Bureau of Diplomatic Security (DS), the 
Federal Bureau of Investigations (FBI) Criminal Justice Information Services Division 
(CHS) and the Department of Defense (DOD) Defense Forensics and Biometrics Agency 
(DFBA) for sharing of biometric and other identity management data. 

I. PURPOSE 

The purpose of this Annex is to allow the Deputy Assistant Secretary and Assistant 
Director tor International Programs (DS/IP) and the Deputy Assistant Secretary for 
High Threat Programs (DS/HTP) through Regional Security Offices (RSO) in U.S. 
Embassies and Consulates to conduct relevant data inquiries for DS investigative and 
vetting purposes, and to share relevant information on persons of interest to the 
DFBA. 

II. OBJECTIVE 

The objective of this Annex is to establish procedures by which DS/fP and DS/HTP 
through the RSOs will submit information for retention within ABIS alter the initial 
searches have been completed pursuant to the DS-CJIS-DFBA MOU. These 
procedures will safeguard U. S, diplomatic facilities and information overseas 

III. SCOPE 

This Annex does not cancel or supersede existing agreements between DS/IP and/or 
DS/HTP and DFBA or any other party. This Annex is confined to data exchanged 
under the authorities listed at Section HI of the source MOU among DS. CJIS and 
DFBA. 

IV. PROCEDURES 

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V. FUNDING 

This Annex is not an obligation or commitment of funds, nor a basis for transfer of 
funds. Unless otherwise agreed to in writing, each party shall bear its own costs in 
relation to this Annex and its source MOU. Expenditures by each party will be 
subject to its budgetary processes and to the availability of funds and resources 
pursuant to applicable laws, regulations, and policies. The parties expressly 
acknowledge that this in no way implies that Congress will appropriate funds for such 
expenditures. 

VI. EFFECTIVE DATE, DURATION, AMENDMENT, AND TERMINATION 
This Annex shall be effecti ve upon the signature of both parties and shall continue in 
effect unless notice is given by one party to the other that the notifying party wishes 
to renegotiate, terminate, or withdraw from the agreement. Such written notice shall 
be provided at least 60 days prior to the proposed amendment, termination, or 
withdrawal. Modifications shall have a written agreement of consent by both parties. 

Theauthorized agency officials whose signatures appear in the MOU have committed 
their respective agencies to the terms of this agreement, subject to annual review 7 to 
determine whether amendments are needed. 

VII. APPROVAL 

lire foregoing represents the understanding reached between DS/1P, DS/HTP and 
DFBA. Signatures of agreement on the MOU indicate approval, of this annex. 


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